Senior Compliance Specialist

Advisors, operations, compliance and technology teams total roughly 560 people. Regulatory oversight is constant, and the compliance department is one of the largest in the company.

Position summary

We're looking for a Senior Compliance Specialist to join our team. This is a remote role. This role prepares for regulatory exams and works directly with examiners. Remote within the US. The team meets in Charlotte once a quarter, travel covered. Standard office hours, Monday to Friday, with flexibility around them.

Job duties

• Advise managers on regulatory questions in day-to-day operations
• Report compliance metrics to the compliance committee and board
• Train employees on annual compliance topics and new rules
• Write and update compliance policies and procedures
• Coordinate regulatory exams and audit requests, and follow findings to closure
• Review suspicious activity alerts and prepare SAR filings within deadlines
• Vet new products, marketing materials and disclosures before launch

Minimum qualifications

• Familiar with AML monitoring systems such as Verafin or Abrigo
• Working knowledge of BSA/AML, OFAC and consumer lending regulations
• Organized, with a careful approach to documentation
• Bachelor's degree in business, finance or a related field
• Comfortable training groups and presenting to committees
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)

Nice to have

• Fair lending (HMDA, CRA) experience
• Prior work as a bank examiner

The base pay range for this position is $133,000-$154,000 a year. Actual pay depends on experience, skills and location.

Why work with us

• Health, dental and vision coverage starting on day one
• 401(k) with company match
• Paid parental leave
• $1,000 home office setup budget
• 12 weeks of paid parental leave
• Annual bonus
• Three weeks of PTO to start

Charlotte Planning Group provides equal employment opportunities to all employees and applicants.

Applicants must be authorized to work in the U.S.

Start: Flexible.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Charlotte Planning Group.